SCA-PLAN-0002, Rev. 3 

ADVISORY BOARD ON RADIATION 

AND WORKER HEALTH

Conflict of Interest Plan 

Contract No. 200-2009-28555 

Prepared by 

SC&A, Inc. 

1608 Spring Hill Road 

Suite 400 

Vienna, Virginia 22182 

August 2011 
Effective Date: 

August 25, 2011 

Revision No. 

3 

Document No. 

SCA-PLAN-0002 

Page No. 

2 of 20 

S. Cohen & Associates: 

Document No. 

SCA-PLAN-0002 

Technical Support for the Advisory Board on 

Radiation and Worker Health Review of 

Effective Date: 

August 25, 2011 

NIOSH Dose Reconstruction Program Revision No. 

3 

CONFLICT OF INTEREST PLAN Page 2 of 20 

08/25/2011 

COI Plan Administrator: 

Date: _______________ 

Stephen L. Ostrow, PhD 

_______________________ 

Supersedes: 

Rev. 2 

08/25/2011 

Project Manager: 

Date: _______________ 

John Mauro, PhD, CHP 

_______________________ 

REVISION LOG 

Rev. No. Date Description Affected Sections 

0 12/15/2004 Original issue All 

1 1/31/2007 • Added material related to NIOSH-DTRA projects 

non-disclosure agreement (NDA) 

• Added material related to Website Disclosure 

Statement 

• General editing revisions 

• Section 5.5, Ex. E 

• Section 5.3, Ex. D 

• All 

2 3/9/2009 • Deleted material related to NIOSH-DTRA 

• Changed contract number to current one 

• Added Reference section 

• General editing revisions 

• Section 5.5, Ex. E, and 

references to DTRA project 

• Throughout 

• Section 10.0 

• All 

3 8/23/2011 • General revisions to reflect the provisions of 

NIOSH 2011a and NIOSH 2011b, which added 

additional requirements with respect to conflict of 

interest and appearance of bias 

• All 
Effective Date: 

August 25, 2011 

Revision No. 

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Document No. 

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TABLE OF CONTENTS 

1.0 PREFACE – COI Plan REVISION 3 ..................................................................................4 

2.0 Purpose.................................................................................................................................4 

3.0 Background..........................................................................................................................5 

4.0 Responsibilities....................................................................................................................5 

5.0 Conflict of Interest Plan.......................................................................................................7 

5.1 Organizational Conflict of Interest ..........................................................................7 

5.2 Individual Conflict of Interest..................................................................................8 

5.3 COI Reporting and Resolution...............................................................................13 

5.4 Documentation.......................................................................................................14 

5.5 Training..................................................................................................................14 

6.0 References..........................................................................................................................14 

Exhibit A: Conflict of Interest Certification For INdividuals.......................................................15 

Exhibit B: Conflict of Interest Certification For ORGANIZATIONS .........................................17 

Exhibit C: COI Plan Acknowledgment Form...............................................................................18 

Exhibit D: Conflict of Interest Certification Form Review Sheet ................................................19 

Exhibit E: Website Disclosure Statement (Biosketch) .................................................................20 
Effective Date: Revision No. Document No. Page No. 

August 25, 2011 3 SCA-PLAN-0002 4 of 20 

Conflict of Interest/Appearance of Bias 

No man is allowed to be a judge in his own cause; because his interest would 

certainly bias his judgment, and, not improbably, corrupt his integrity (James 

Madison, The Federalist, No. 10, 1787). 

1.0 PREFACE – COI PLAN REVISION 3 

The SC&A Conflict of Interest (COI) Plan was revised to reflect requirements and guidance 

related to conflict of interest and appearance of bias appearing in NIOSH Policy on the 

Appearance of Bias for the EEOICPA Program & General Conflict of Interest Requirements, 

Version 2.0, May 3, 2011 (NIOSH 2011a), and Implementing Procedures for the NIOSH Policy 

on the Appearance of Bias for the EEOICPA Program & General Conflict of Interest 

Requirements (NIOSH 2011b), which includes the former as an attachment. NIOSH 2011a 

focuses on the legal basis for COI and bias requirements; both NIOSH documents impose 

specific requirements on Federal Contractors (also called Program Contractors) and explicitly 

name SC&A as a contractor providing scientific and technical support to the Advisory Board on 

Radiation and Worker Health (ABRWH or the Advisory Board). 

The SC&A COI Plan summarizes and interprets the requirements and guidance of the two 

National Institute for Occupational Safety and Health (NIOSH) documents (which themselves 

interpret and apply federal law) as applied to the SC&A team—SC&A, its subcontractors and 

consultants, and personnel. The NIOSH documents are incorporated in the SC&A COI Plan by 

reference and take precedence over the SC&A COI Plan should any conflicts or ambiguities of 

meaning arise. If personnel are uncertain or have questions about any provisions, they should 

contact the SC&A COI Plan Administrator for clarification. In general, a “reasonableness” 

criterion will be applied when determining if an actual or potential COI or condition of bias 

exists in a particular situation; i.e., what would a reasonable person believe about the actions and 

motives of the individual or organization in question? Is there a potential for benefit or bias on 

the part of the individual or organization? 

This document, along with NIOSH 2011a and NIOSH 2011b, is distributed to all project 

personnel and participating organizations of the SC&A team; all provisions apply immediately. 

However, new COI Certifications (Exhibit A) and Website Disclosure Statements (Exhibit E) are 

required only for personnel added to the project after this revision takes effect. 

2.0 PURPOSE 

SC&A holds Contract No. 200-2009-28555 with the Centers for Disease Control and Prevention 

(CDC) in support of the NIOSH Advisory Board to perform an independent review of the 

NIOSH dose reconstruction program under the Energy Employees Occupational Illness 

Compensation Program Act of 2000 (The Act; EEOICPA 2000). This contract requires SC&A 

to have a COI Plan. It is essential that the work under this contract be performed free of any 

COI, organizational and individual, or bias, actual and perceived. The SC&A COI Plan 

describes the methods employed by SC&A to detect, avoid, and mitigate any potential COI or 

bias. In addition to providing background information on what constitutes COI or bias, the plan 
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August 25, 2011 3 SCA-PLAN-0002 5 of 20 

also delineates the corporate and individual responsibilities, and outlines the administrative 

procedure for implementing the plan. 

3.0 BACKGROUND 

Conflict of interest considerations encompass both the organizations performing under the 

contract and the individuals working for those organizations. The government defines in Federal 

Acquisition Regulation (FAR) 2.101 (see also FAR 9.5) Organizational Conflict of Interest 

(OCI) as a condition where a relationship or situation exists whereby an offeror or a contractor 

(including chief executives and officers, to the extent that they become involved in the 

performance of the contract, and consultants or subcontractors, where they may be performing 

services similar to the services provided by the prime contractor) has past, present, or currently 

planned interests that, either directly or indirectly through a client contractual, financial, 

organizational, or other relationship, may relate to the work to be performed under a government 

contract and which may: 

(a) Diminish the individual’s or organization’s capacity to render impartial assistance or 

advice to the government 

(b) Impair the individual’s or organization’s objectivity in performing the work 

(c) Result in an unfair competitive advantage 

The definition of OCI does not, however, include a normal flow of benefits from the 

performance of the contract; e.g., the contractor and employees rightly receive revenue from 

such performance. 

In addition to complying with government OCI and COI requirements, SC&A adopts the Code 

of Ethics of the National Society of Professional Engineers that states that engineers shall 

disclose all known or potential conflicts of interest to their employers or clients by promptly 

informing them of any business association, interest, or other circumstance which could 

influence or appear to influence their judgment or the quality of their services. The Code of 

Ethics further states that engineers shall not accept compensation or other valuable consideration 

from more than one party for services on the same project, or for services pertaining to the same 

project, unless the circumstances are fully disclosed to, and agreed to, by all interested parties, 

and that engineers shall not solicit or accept financial or other valuable consideration from 

contractors, their agents, or other parties in connection with work for employers or clients for 

which they are responsible. 

4.0 RESPONSIBILITIES 

This section delineates the responsibilities and relationships of the various parties participating in 

implementation of the COI Plan. 

President of SC&A: The President of SC&A participates (as requested by the Project Manager) 

in discussions with the COI Plan Administrator and Project Manager to determine if a conflict of 

interest or perception of bias exists for a particular case. If a question of potential OCI is 

encountered, for example, related to whether SC&A bids on a particular job, he communicates 

that information to the Advisory Board Contracting Officer (Contracting Officer) and the 
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August 25, 2011 3 SCA-PLAN-0002 6 of 20 

Contracting Officer’s Technical Representative (COTR), and works with them to resolve the 

issue. In addition, the President transmits SC&A’s annual Corporate COI Certification 

(Exhibit B) to the Contracting Officer. 

SC&A Contract Manager: The SC&A Contract Manager maintains a database of all active and 

completed contracts and current proposals, which serves as a resource for review by her and 

others of potential OCI, such as may arise when considering to bid on work for the Department 

of Energy (DOE), a DOE contractor, an Atomic Weapons Employer (AWE), or an AWE 

contractor. In addition, she is the primary point of contact with the Contracting Officer. 

Project Manager: The SC&A Project Manager works with the COI Plan Administrator and the 

President to review for potential COI or bias new opportunities that the company is considering 

undertaking to ensure overall COI Plan compliance. He also informs the COI Plan 

Administrator of plans to add any additional personnel to the project, or to change assignments 

of existing performing personnel, so that the COI Plan Administrator can ensure that personnel 

receive the required COI training and evaluations, and that the tasks that they will perform do not 

entail any potential COI or bias. The Project Manager also coordinates with the other 

organizations in the team to ensure that they comply with COI Plan provisions for the duration of 

the contract. The Project Manager is the primary point of contact with the COTR. 

COI Plan Administrator: The COI Plan Administrator administers and revises the COI Plan as 

required, and ensures that all project personnel are trained in and comply with the provisions of 

the Plan (including any material revisions). The COI Plan Administrator or his designee is 

responsible for obtaining, reviewing, and filing COI Certifications of the companies and 

individuals performing under the contract; recording and filing his determinations on Conflict of 

Interest Certification Review Sheets; obtaining and filing signed COI Plan Acknowledgment 

Forms from project members attesting that they have read and understand the Plan; creating and 

posting on SC&A’s NIOSH project website personnel Website Disclosure Statements; 

maintaining a list showing the DOE and AWE sites at which individuals working on the project 

might have potential conflicts of interest; and working with the Project Manager in identifying 

and resolving any organizational or individual potential conflicts of interest in accordance with 

this COI Plan. 

Records Management Specialist: The Records Management Specialist assists the COI Plan 

Administrator to distribute, collect, file, and post COI-related material on SC&A’s NIOSH 

project website. 

Organizational Team Members: All provisions of the COI Plan flow down to SC&A’s 

subcontractors. Organizations on the SC&A team review new opportunities that they are 

considering pursuing for potential COI, as defined in this plan, and consult the SC&A Project 

Manager and the COI Plan Administrator if any clarifications of COI provisions are required. 

Organizational team member management ensures that COI Certifications have been completed 

and forwarded to the COI Plan Administrator by each individual prior to performance on the 

project, and informs the COI Plan Administrator of any changes occurring during the project that 

may affect organizational or individual COI compliance. 

Individual Team Members: Individuals on the project review the COI Plan and acknowledge 

their understanding of its provisions to ensure their compliance with them via a COI Plan 
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August 25, 2011 3 SCA-PLAN-0002 7 of 20 

Acknowledgment Form. Individuals also execute a COI Certification and a draft Website 

Disclosure Statement prior to performance on the project, and notify their management during 

the project of any changes in status that may affect their COI compliance or any proposed new 

assignment (for NIOSH or other projects) that might involve a COI or perception of bias on the 

NIOSH project. 

5.0 CONFLICT OF INTEREST PLAN 

5.1 Organizational Conflict of Interest 

A background discussion of OCI appears in Section 3.0. Under this contract, SC&A and its team 

members avoid OCI by not bidding on or performing any work for NIOSH, its contractor Oak 

Ridge Associated Universities (ORAU), or the ORAU teaming partners performing work under 

their contract (the “dose reconstruction contract”) during the entire period of performance of the 

SC&A contract.1 Moreover, SC&A and its team members carefully evaluate with the 

Contracting Officer and the COTR any potential work for the DOE, a DOE contractor, an AWE, 

or an AWE contractor that might result in a possible or perceived conflict with the scope of work 

for this contract. 

5.1.1 Searching for Potential Organizational Conflicts of Interest 

SC&A’s Contract Manager maintains an up-to-date database of all active and completed SC&A 

contracts and current proposals as part of SC&A’s Management Information System. 

Information entered includes the client for which the work is or was performed, the contract 

number, the type of contract, a description of the work, the period of performance, the dollar 

value, the project manager’s name, and, if applicable, the site or sites involved in the course of 

the work. The SC&A Contract Manager searched and evaluated this database prior to contract 

award to ensure compliance with COI requirements, and monitors it during the course of the 

project to ensure continued compliance. 

5.1.2 Avoidance of Potential Organizational Conflicts of Interest 

All SC&A personnel responsible for bid and proposal activities within the company are provided 

a copy of this COI Plan. To avoid potential COI, these personnel are advised of the following: 

• SC&A may not bid on projects for NIOSH, ORAU, or an ORAU primary teaming 

partner. 

• When considering potential projects for DOE, a DOE contractor, an AWE, or an AWE 

contractor, bids may be permitted following discussion with the COI Plan Administrator 

and the Project Manager (and, at the discretion of the Project Manager, the President) to 

evaluate the potential for actual or perceived COI; the Project Manager will then consult 

with the Contracting Officer and the COTR. 

1 Whenever ORAU and its subcontractors are mentioned throughout this Plan, the same considerations also 

apply to any successor NIOSH contractor. 
Effective Date: Revision No. Document No. Page No. 

August 25, 2011 3 SCA-PLAN-0002 8 of 20 

5.1.3 Annual COI Certification 

The President of SC&A certifies the following to the Contracting Officer annually by the end of 

the calendar year: 

To the best of our knowledge, no facts exist relevant to any past, present, or 

currently planned interest or activity (financial, contractual, personal, 

organizational, or otherwise) which relate to the work, and suggest that SC&A 

has a possible conflict of interest with respect to (1) being able to render 

impartial, technically sound, and objective assistance or advice; or (2) being 

given an unfair competitive advantage. Should this situation change, appropriate 

steps will be taken as prescribed by the contract, and the Contracting Officer and 

Contracting Officer’s Technical Representative will be notified. 

5.1.4 Team Member COI Plans 

All organizational team members (subcontractors to SC&A) are required to have plans 

containing procedures and policies for the avoidance and mitigation of conflict of interest similar 

to those contained in this plan. The COI language contained in the prime contract flows down to 

any subcontracts issued under the prime contract with the Advisory Board. The subcontracts 

also contain a clause requiring the subcontractor to notify SC&A in the event of an actual or 

potential COI, so that SC&A can take whatever steps are necessary to avoid, mitigate, or 

neutralize the conflict, as provided in Section 5.3.2 of this plan. Organizational team members 

are required to execute and submit to SC&A Exhibit B, “Conflict of Interest Certification for 

Organizations,” at the inception of their involvement in the project. 

5.2 Individual Conflict of Interest 

All individuals working on the contract receive a copy of the COI Plan (as well as NIOSH 2011a 

and 2011b) and complete the COI Certification (Exhibit A), the COI Plan Acknowledgment 

Form (Exhibit C), and the Website Disclosure Statement (Exhibit E) at the start of their 

involvement in the project. They complete only a new COI Plan Acknowledgment Form upon 

receipt of subsequent Plan revisions. The COI Plan Administrator reviews COI Certifications 

and records the reviews on Conflict of Interest Certification Form Review Sheets (Exhibit D). 

These sheets may be revised later in the project if new, relevant information becomes available. 

The Website Disclosure Statements and a summary table of all project personnel and sites where 

they may have potential COIs are posted on SC&A’s NIOSH project website; these documents 

are also kept current as any new COI or appearance of bias issues may arise. 

NIOSH 2011a articulates COI and bias-related requirements for federal (e.g., NIOSH) 

employees, Special Government Employees (e.g., the Advisory Board), and federal contractor 

(e.g., SC&A) employees under three headings: Financial Conflicts of Interest, Appearance of 

Loss of Impartiality, and NIOSH’s Appearance of Bias Policy. Since these requirements form 

the heart of SC&A’s COI Plan, the policy portions applicable to federal contractors will be 

elaborated and interpreted below to aid in understanding the Plan. It should be noted that 

NIOSH 2011a comes with a disclaimer: 
Effective Date: Revision No. Document No. Page No. 

August 25, 2011 3 SCA-PLAN-0002 9 of 20 

The contents of this document do not represent the full scope of the conflict of 

interest laws and ethics regulations; rather, the intent of this document is to 

provide a summary of the laws and regulations relevant to individuals involved in 

the NIOSH implementation of the Energy Employees Occupational Illness 

Compensation Program (NIOSH 2011a, p. 1). 

As noted earlier, a further caution is in order here; the SC&A COI Plan is intended to provide 

summary guidance on the basis and implementation of COI and bias policy contained in NIOSH 

2011a and NIOSH 2001b and, by extension, the underlying federal regulations. As such, the 

SC&A COI Plan does not always provide detailed or complete information, instructions, or 

definitions, which may be found in either the NIOSH documents or the governing federal 

regulations. 

Financial Conflicts of Interest 

Under these [COI] plans, the contractors shall prohibit any employee (or the 

employee of a subcontractor) determined to have a financial conflict of interest 

from participating in any capacity in a particular matter concerning a DOE or 

AWE facility for which the individual is determined to have the financial conflict. 

Such determinations of financial conflicts shall be made by the contractor’s 

project manager in consultation with the contract officer’s technical 

representative, the agency’s contract officer, and agency [CDC] and HHS 

[Department of Health and Human Services] officials under the contractor’s 

conflict of interest plan (NIOSH 2011a, p. 3). 

The employee and his/her close household members must not benefit financially from decisions 

that might be made in the course of performing work under this contract related to a particular 

site or issue. This restriction does not, however, preclude a normal flow of benefits from the 

performance of the contract; i.e., the employee is paid for his or her work related to the subject 

facility or the performance of a particular task. The SC&A Project Manager has designated the 

COI Plan Administrator to lead in determining potential conflicts of interest and reporting his 

findings to the Project Manager, who, in affirmative or uncertain assessments, will consult with 

the COTR, Contract Officer, and appropriate NIOSH and HHS officials for a determination. 

Appearance of Loss of Impartiality 

Under these [COI] plans, a contractor’s employee must obtain an authorization in 

order to participate in a particular matter involving specific parties concerning a 

DOE or AWE facility for which the individual is determined to have an 

appearance of conflict. Without such authorization, participation is prohibited. 

Authorization may be granted when it is determined, based on all relevant 

circumstances, that the interest of the Government in the contractor employee’s 

participation outweighs the concern that the program’s integrity may be 

questioned... (NIOSH 2011a, p. 5). 

If an employee would otherwise be prohibited from pursuing a particular matter under the 

contract due to the appearance of a COI, authorization may, nonetheless, be granted for that 

employee’s action under certain circumstances through petition by the Project Manager to the 
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August 25, 2011 3 SCA-PLAN-0002 10 of 20 

COTR, who will then confer with the appropriate government authorities to consider such an 

exception. 

NIOSH’s Appearance of Bias Policy 

Under these [COI] plans, a contractor must obtain an approval in order to 

participate in a particular matter involving specific parties (such as a matter 

concerning a DOE or AWE facility) for which the individual is determined to 

have a potential appearance of bias. Without such approval, participation is 

prohibited. Approval may be granted when it is determined, based on all relevant 

circumstances, that the interest of the Government in the contractor’s 

participation outweighs the concern that the program’s integrity may be 

questioned... (NIOSH 2011a, p. 6). 

The commentary in the preceding section, Appearance of Loss of Impartiality, applies here as 

well. 

NIOSH 2011a goes on to list eight examples of circumstances that are “deemed to constitute a 

potential appearance of bias;” these are listed below, along with SC&A’s interpretations of how 

they are to be applied. These examples inform the questions listed in the COI Certification Form 

(Appendix A) and help to elucidate the assessment process that is performed by the COI Plan 

Administrator; since these are only examples provided for guidance, it was not felt necessary to 

precisely define certain terminology (e.g., “covered employee”): 

(1) Status as a covered employee under EEOICPA based on employment at the DOE or AWE 

facility.2 

“Covered employee under EEOICPA” is interpreted to mean that the employee has 

worked at a particular DOE or AWE facility and has the potential to be included under 

EEOICPA provisions; e.g., an employee might have worked at a facility during a period 

and in a capacity that is, or is being, considered for inclusion in the Special Exposure 

Cohort (SEC). Under such circumstances, the employee is prohibited from performing 

work under this contract related to that facility. An exception can be made for cases 

where an employee worked at the site as a student (e.g., an intern) or professor (e.g., on 

sabbatical leave) for a period of no greater than one year. An exception can also be made 

for instances of casual visits; e.g., by contractor or (former) DOE personnel normally 

located off-site, making occasional visits to a particular site. 

(2) Employment for any duration in the design, development, or management of radiation 

safety or dosimetry records management operations of the DOE or AWE facility.2 

An employee not necessarily described by example 1, but who has performed work 

related to a particular DOE or AWE facility, as described in example 2, is precluded from 

performing work under this contract related to the particular DOE or AWE facility; e.g., 

2

 Footnote 4 of NIOSH 2011a qualifies questions 1–3 as follows: “To the extent that...[questions 1–3] are 

considered with regard to a potential claimant, they should be evaluated pursuant to 5 C.F.R. § 2635.502 (i.e., 

‘potential appearance of loss of impartiality’), and not the NIOSH Appearance of Bias Policy. 
Effective Date: Revision No. Document No. Page No. 

August 25, 2011 3 SCA-PLAN-0002 11 of 20 

this would apply to a contractor employee located off site, but performing the described 

type of work. 

(3) Covered employment at the DOE or AWE facility for any duration with possible exposure 

to an acute radiation exposure incident potentially covered under the definition of a 

“discrete incident” under [42 CFR 83.13(c)(3)(i)].2, 3 

Personnel who were covered employees and who may have experienced a discrete 

incident at a site are precluded from work under this contract related to that site. 

“Discrete incident” refers to a large, acute (as opposed to a chronic) exposure to radiation 

from a single, non-routine event that occurred at a specific DOE or AWE facility. 

42 CFR 83.13(c)(3)(i) defines “discrete incident” and gives an example of one in the 

following: ...”discrete incidents” likely to have involved exceptionally high level 

exposures, such as nuclear criticality incidents or other events involving similarly high 

levels of exposures resulting from the failure of radiation protection controls... 

(4) Where a spouse, parent, or non-dependent child has the status of either a claimant under 

the Act or a covered employee under EEOICPA based on employment at the DOE or 

AWE facility. 

The employee is precluded from performing work related to a specific DOE or AWE 

facility where a close family member (defined above) has a potential financial interest as 

a claimant under the Act or as a covered employee. 

(5) Participation as one of the following: (1) an authorized representative for a claim under 

EEOICPA; (2) an SEC petitioner; or (3) an advocate for a claimant or an SEC petition at 

a specific DOE or AWE facility. 

An employee is prohibited from performing work related to a particular DOE or AWE 

site if any of the listed circumstances apply related to that particular site. 

(6) Membership in a union which serves as a petitioner for an SEC petition. 

An employee is prohibited from performing work related to a particular DOE or AWE 

site if that employee is a member of a union which is a petitioner for an SEC petition at 

that DOE or AWE site. 

(7) Participation as an expert witness in litigation involving safety or health conditions at the 

DOE or AWE facility, when such participation is not deemed a financial conflict of 

interest under 18 U.S.C. § 208 or an appearance of conflict under 5 C.F.R. § 2635.502. 

An employee is prohibited from performing work related to a particular DOE or AWE 

site where that employee participated or is participating as an expert witness as described. 

SC&A interprets this item to apply only to “radiation-related” safety or health conditions. 

3

 The original NIOSH 2011a quotation cited the CFR section referring to “discrete incident” incorrectly; it 

has been corrected here. 
Effective Date: Revision No. Document No. Page No. 

August 25, 2011 3 SCA-PLAN-0002 12 of 20 

(8) Authorship of a report or the delivery of a public statement (including testimony) 

indicating that the individual has taken a position on a particular matter involving 

specific parties at a DOE or AWE facility, independent of his or her position with 

NIOSH, the Board, or a contractor providing technical support to NIOSH or the Board, 

when such particular matter is now at issue in the program. 

This provision applies only when the employee’s public statement relates in a relevant 

and material manner to “a particular matter involving specific parties at a DOE or AWE 

facility” that can give the appearance of bias; in such cases, the employee will not be 

permitted to perform work for that facility unless given approval after review by the 

COTR. 

In general, if a perceived, potential, or actual COI is identified related to a particular DOE or 

AWE site reviewed by SC&A under this contract, the employee is precluded from performing 

any work related to that site, even in a consulting or reviewing capacity; this is a change from 

previous policy, which permitted the employee to participate in a non-lead capacity. However, 

as mentioned elsewhere, exceptions can be made under certain compelling circumstances upon 

application to the COTR and subsequent review of the merits of the request. 

In addition, although not mentioned in the eight circumstances of NIOSH 2011a listed above, 

individuals who are performing any work for NIOSH, ORAU, or a company that is teamed with 

ORAU on the NIOSH dose reconstruction project, are also barred from working for SC&A on 

the project. Individuals who have had such a past working relationship are not necessarily 

barred, but their circumstances will be carefully reviewed before they are permitted to do any 

work for SC&A under the contract. 

Although the COI Plan Administrator and other staff will review individual circumstances with 

respect to perceived, potential, or actual COI or bias whenever it is desired to assign an employee 

to a particular task, the employee is also expected to participate in the COI evaluation 

process by “self-reporting” any relevant information, as defined in this COI Plan. Such 

information may include details of employment at or work related to that site, whether close 

relatives have a connection to that site, and whether the employee has publicly expressed 

relevant and material opinions related to the issues under consideration for that site. 

Participation at Public Meetings—i.e., a full Advisory Board, Board Subcommittee, or Board 

Work Group meeting—by program contractor personnel found to have financial conflicts of 

interest, appearance of loss of impartiality, or appearance of bias, is discussed in Sections 

VI.2.C.1, VI.2.C.2, and VI.2.C.3, respectively, of NIOSH 2011b, which use, with minor 

variations, essentially the same language. All three paragraphs state, [Such an employee] 

“...should not attend any (or any portion of the) public meeting where the conflict may be 

pertinent, or must leave the discussion and proceed to the back of the meeting room when the 

employee becomes aware that the meeting will be addressing the matter that poses the conflict.” 

There is an exception, however: 

[...if the affected employee] has a waiver that will allow him/her to be present at 

the meeting [Section VI.2.C.1 – financial conflict of interest], has been granted an 

authorization that will allow him/her to be present at the meeting in question 
Effective Date: Revision No. Document No. Page No. 

August 25, 2011 3 SCA-PLAN-0002 13 of 20 

[Section VI.2.C.2 – appearance of loss of impartiality], or has been granted an 

approval that will allow him/her to be present at the meeting in question [Section 

VI.2.C.3 – appearance of bias]. [In such cases,] ...the employee shall announce 

both his/her conflict and the [waiver, authorization, or approval as appropriate] 

prior to speaking for the first time at the meeting, or when asked by the DFO 

[Designated Federal Official] during a full Board or Board working group 

meeting. 

5.3 COI Reporting and Resolution 

5.3.1 Reporting of Potential Organizational or Individual Conflicts of Interest 

Despite all of the precautions described above to avoid both organizational and individual COI, 

there is always the possibility that a situation could arise that involves a potential COI or 

perception of bias. As required in the last section, all individuals assigned to this project are to 

report any known incidences of potential COI, either organizational or individual, to the SC&A 

Project Manager and COI Plan Administrator, who then confer with the President of SC&A, if 

thought useful by the Project Manager. The SC&A Project Manager, COI Plan Administrator, 

and SC&A President (if involved) then review the circumstances and obtain additional 

information that may inform their decision on whether a particular situation that occurred might 

represent a COI. Should they conclude that the reported circumstances involve an actual or 

perceived COI, the Project Manager reports in writing to the Contracting Officer and forwards a 

copy to the COTR. As described elsewhere, the COTR and those officials he consults may 

choose to issue a full or circumscribed exemption in certain circumstances where an employee’s 

performance of a task is deemed of sufficient importance to outweigh any negative COI or bias 

factors. 

5.3.2 Conflict of Interest Mitigation or Neutralization 

Should the Contracting Officer and the COTR conclude that circumstances involve a potential, 

perceived, or actual COI, or expression of bias, and that an exemption is not warranted, the 

Project Manager, in consultation with the President of SC&A (if necessary), can take one of the 

following actions as appropriate to mitigate or neutralize the COI: 

• If the COI pertains to NIOSH project work and involves an individual: preclude the 

individual from either working on the contract or on a specific assignment, and reassigns 

the work to another individual 

• If the COI pertains to NIOSH project work and involves a team member: reassign the 

work from the team member to SC&A or another team member (if available) 

• If the COI pertains to NIOSH project work and involves SC&A: reassign the work that 

gives rise to the COI to another team member 

• If the COI pertains to work outside the NIOSH project and involves a team member or 

SC&A: cancel or refuse the outside work that gives rise to the COI with the work under 

the Advisory Board contract 

• Stop work on the task 
Effective Date: Revision No. Document No. Page No. 

August 25, 2011 3 SCA-PLAN-0002 14 of 20 

5.4 Documentation 

All documents related to COI or bias are maintained in a secure file at the SC&A Headquarters 

in Vienna, Virginia, by the Records Management Specialist under the direction of the COI Plan 

Administrator, and are available during normal business hours for review by the Advisory Board, 

the Contracting Officer, the COTR, or their designee. Website Disclosure Statements and a list 

of project personnel, and any sites where they may be precluded from work, are also posted on 

SC&A’s NIOSH project website. The COI Plan is reviewed annually for applicability and 

completeness, and changes are made as necessary and submitted to the Contracting Officer and 

the COTR. Also, an annual COI Certification at the contract level is submitted to the 

Contracting Officer, with a copy sent to the COTR and a copy maintained at the SC&A 

Headquarters by the COI Plan Administrator (see Section 5.1.3 for certification language). 

5.5 Training 

The COI Plan Administrator distributes a copy of this COI Plan, the COI Certification, the COI 

Plan Acknowledgment Form, and the Website Disclosure Form to each team member upon 

inception of his or her involvement in the contract to fill out and sign; the COI Certification and 

Website Disclosure Form are not required from individuals who have already filled them out 

under a previous distribution (including of an earlier revision) of the COI Plan. The individual 

certifies on the COI Plan Acknowledgment Form that he or she understands the provisions of the 

COI Plan and his or her specific responsibilities under the Plan. This process constitutes COI 

training. 

6.0 REFERENCES 

EEOICPA 2000. Energy Employees Occupational Illness Compensation Program Act of 2000, 

as Amended, 42 U.S.C. §7384 et seq., October 30, 2000 (Pub. L. 106-398, XXXVI, §3661, “The 

Act”). 

Madison, James, The Federalist, No. 10, 1787. 

NIOSH 2011a. NIOSH Policy on the Appearance of Bias for the EEOICPA Program and 

General Conflict of Interest Requirements, Version 2.0, May 3, 2011. 

NIOSH 2011b. Implementing Procedures for the NIOSH Policy on the Appearance of Bias for 

the EEOICPA Program & General Conflict of Interest Requirements, 2011. 
Effective Date: Revision No. Document No. Page No. 

August 25, 2011 3 SCA-PLAN-0002 15 of 20 

EXHIBIT A: CONFLICT OF INTEREST CERTIFICATION FOR INDIVIDUALS 

CONFLICT OF INTEREST CERTIFICATION UNDER 

CDC CONTRACT NO. 200-2009-28555 

If the answer to any of the following questions is “Yes,” please elaborate on a separate sheet. 

I. Have you ever performed any work for NIOSH, ORAU, or a company that is teamed 

with ORAU related to the NIOSH dose reconstruction project, including through 

subcontracts?  Yes  No 

II. Have you ever served as an expert witness in litigation involving radiation safety or 

health conditions at a DOE or AWE facility?  Yes  No 

III. Have you ever performed work for the DOE, a DOE Contractor (including through 

subcontracts), an AWE, or an AWE Contractor (including through subcontracts) related 

to the design, development, or management of radiation safety or dosimetry records 

management operations of a facility?  Yes  No 

IV. Have you ever worked at a DOE or AWE facility under contract to DOE, a DOE 

Contractor (including through subcontracts), an AWE, or an AWE Contractor (including 

through subcontracts)?  Yes  No 

If the answer is yes: 

(a) Do you have the status as a covered employee under EEOICPA based on 

employment at those sites?  Yes  No 

(b) Have you potentially received an acute radiation exposure at those sites? 

 Yes  No 

V. Do you or your family have any current or past history of contracts or financial 

relationships that would result in an actual or perceived conflict of interest with respect to 

potential work performed under SC&A’s contract?  Yes  No 

VI. Does your spouse, parent, or non-dependent child have the status of either a claimant 

under the Act or a covered employee under EEOICPA based on current or past 

employment at a DOE or AWE facility?  Yes  No 

VII. Are you serving or have you served as one of the following: (1) an authorized 

representative for a claim under EEOICPA; (2) an SEC petitioner; or (3) an advocate for 

a claimant or an SEC petition at a DOE or AWE facility?  No  Yes 

VIII. Are you or were you a member of a union? If so, please elaborate.  No  Yes 
Effective Date: Revision No. Document No. Page No. 

August 25, 2011 3 SCA-PLAN-0002 16 of 20 

IX. Are you the author of a report or the deliverer of a public statement (including testimony) 

taking a materially relevant position on a particular matter involving specific parties or 

activities at a DOE or AWE facility covered under the dose reconstruction program, 

independent of your position with NIOSH, the Advisory Board, or a contractor providing 

technical support to NIOSH or the Advisory Board, when such particular matter is now at 

issue in the program?  Yes  No 

 Printed Name: _____________________ 

 Signed Name: _____________________ 

Date: _____________________ 
_________________________________ 

_________________________________ 

_________________________________ 

_________________________________ 

Effective Date: Revision No. Document No. Page No. 

August 25, 2011 3 SCA-PLAN-0002 17 of 20 

EXHIBIT B: CONFLICT OF INTEREST CERTIFICATION FOR ORGANIZATIONS 

CONFLICT OF INTEREST CERTIFICATION UNDER 

CDC CONTRACT NO. 200-2009-28555 

I understand that participation by my company on this contract means that my company will not 

be permitted to bid on or perform any work for NIOSH, ORAU, or any of ORAU’s primary 

teaming partners while performing work under this contract. I will also ensure that personnel of 

my company performing on this project comply with the provisions of this COI plan. 

Company Name 

Company Officer 

Signature 

Date 
_________________________________ 

_________________________________ 

_________________________________ 

_________________________________ 

Effective Date: Revision No. Document No. Page No. 

August 25, 2011 3 SCA-PLAN-0002 18 of 20 

EXHIBIT C: COI PLAN ACKNOWLEDGMENT FORM 

COI PLAN ACKNOWLEDGMENT FORM UNDER 

CDC CONTRACT NO. 200-2009-28555 

Plan Name: Conflict of Interest Plan 

Document No.: SCA-PLAN-002 

Plan Version: Revision 3 

I have read the Conflict of Interest (COI) Plan referenced above and certify that I understand: 

(a) the generic definition of organizational conflict of interest; 

(b) the specific COI prohibitions and considerations in this contract; 

(c) the importance of reviewing the work performed under this contract against other 

work that I may be involved in, or financial interests that I may have, bearing in 

mind the government’s generic definition of organizational COI and the specific 

COI prohibitions and considerations in this contract; and 

(d) what to do should actual or potential conflict of interest be identified. 

Individual Name 

Signature 

Date 

Company Name 
________________________________ 

________________________________ 

Effective Date: 

August 25, 2011 

Revision No. 

3 

Document No. 

SCA-PLAN-0002 

Page No. 

19 of 20 

EXHIBIT D: CONFLICT OF INTEREST CERTIFICATION FORM REVIEW SHEET

CDC CONTRACT NO. 200-2009-28555 

Individual Reviewed: ________________________________________ 

Organization: ________________________________________ 

Plan Revision _Rev. 3__________________________________ 

Date of Reviewed COI 

Certification Form: ________________________________________ 

Results of Review 

Complies with all COI Plan provisions? 

 Yes – unrestricted project tasks 

 No – restricted project tasks (see comments below) 

 No – precluded from working on project (see comments below) 

Comments 

COI Plan Administrator 

Signature/Date 
Effective Date: Revision No. Document No. Page No. 

August 25, 2011 3 SCA-PLAN-0002 20 of 20 

EXHIBIT E: WEBSITE DISCLOSURE STATEMENT (BIOSKETCH) 

WEBSITE DISCLOSURE 

STATEMENT (BIOSKETCH) 

SC&A TEAM 

Independent Review 

of NIOSH Dose 

Reconstruction 

SC&A TEAM EMPLOYEE NAME: 

EMPLOYER: 

JOB TITLE: 

CURRENT JOB RESPONSIBILITY: 

WORK EXPERIENCE: 

EDUCATION AND PROFESSIONAL CERTIFICATIONS: 

EXPERT WITNESS IN LITIGATION INVOLVING RADIATION SAFETY OR 

HEALTH CONDITIONS AT A DOE OR AWE FACILITY: 

DOE/AWE SITES WHERE A CONFLICT OF INTEREST MAY EXIST: